Assistant Manager Compliance

This role is responsible for enhancing the organization s compliance framework to support future debt and equity listings. The candidate will work closely with a compliance team of 5 members and report to the AVP Compliance, ensuring alignment with regulatory requirements and corporate governance standards for both the flagship company and group entities.

Key Responsibilities

Regulatory Compliance:

• Ensure adherence to applicable SEBI regulations, Companies Act, listing guidelines, and industry standards.

• Monitor changes in laws and regulations, specifically related to debt and equity listings, and update internal policies accordingly.

• Assist in regulatory reporting, filing returns, and coordinating with SEBI, stock exchanges, and other regulatory authorities.

• Prepare documentation required for listing approvals and ongoing compliance.

Policy Implementation:

• Develop, implement, and periodically update internal compliance and governance policies.

• Conduct training sessions for employees on regulatory compliance, corporate governance, and listing obligations.

• Ensure timely dissemination and understanding of policy updates across the organization.

Listing Readiness and Coordination:

• Support the organization in preparing for debt and equity listing by ensuring all compliance documentation is in order.

• Coordinate with legal, finance, and external advisors (merchant bankers, auditors, etc.) to meet pre-listing requirements.

• Assist in drafting offer documents, disclosure materials, and other listing-related paperwork.

Cross-Functional Collaboration:

• Act as a liaison between compliance, legal, finance, and operations teams to maintain smooth workflows and ensure consistent compliance practices.

• Facilitate communication to resolve compliance bottlenecks and manage team workloads effectively.

Audits and Reviews:

• Assist in preparing for internal and external audits related to regulatory compliance and corporate governance.

• Conduct periodic compliance reviews to identify potential risks, gaps, and areas for improvement.

• Ensure timely closure of audit findings and implement corrective measures.

Risk Management:

• Identify potential compliance risks related to listing and propose effective mitigation strategies.

• Develop and support risk assessment frameworks and compliance monitoring plans tailored to the listing process.

Reporting and Documentation:

• Prepare compliance reports, dashboards, and presentations for senior management and the Board.

• Maintain comprehensive records of compliance activities, investigations, and resolutions in alignment with regulatory expectations.

Advisory Support:

• Provide expert guidance on compliance and secretarial matters related to listing regulations.

• Support the compliance team in strategic initiatives, ensuring readiness for future regulatory milestones.

Qualifications

4+ years of post-qualification experience